Houston Wire & Cable Co (NASDAQ:HWCC): David Nierenberg’s Nierenberg Investment Management filed an amended 13D.
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David Nierenberg of Nierenberg Investment Management
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You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
The D3 Family Fund | 0 | 427,891 | 0 | 427,891 | 427,891 | 2.6% |
The D3 Family Bulldog Fund | 0 | 985,794 | 0 | 985,794 | 985,794 | 6.0% |
The DIII Offshore Fund | 0 | 74,145 | 0 | 74,145 | 74,145 | Less than 1% |
Nierenberg Investment Management Company, Inc | 0 | 1,487,830 | 0 | 1,487,830 | 1,487,830 | 9.0% |
Nierenberg Investment Management Offshore, Inc | 0 | 74,145 | 0 | 74,145 | 74,145 | Less than 1% |
David Nierenberg | 0 | 1,487,830 | 0 | 1,487,830 | 1,487,830 | 9.0% |
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Page 1 of 10 – SEC Filing
The D3 Family Funds
19605 NE 8th Street
Camas, WA 98607
(360) 604-8600
Authorized to Receive Notices and Communications)
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Page 2 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS The D3 Family Fund, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Washington | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 427,891 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 427,891 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 427,891 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.6% | ||
14 | TYPE OF REPORTING PERSON (See Instructions) PN |
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Page 3 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS The D3 Family Bulldog Fund, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Washington | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 985,794 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 985,794 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 985,794 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.0% | ||
14 | TYPE OF REPORTING PERSON PN |
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Page 4 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS The DIII Offshore Fund, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Bahamas | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 74,145 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 74,145 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 74,145 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON PN |
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Page 5 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS Nierenberg Investment Management Company, Inc. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Washington | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 1,487,830 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 1,487,830 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,487,830 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.0% | ||
14 | TYPE OF REPORTING PERSON CO |
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Page 6 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS Nierenberg Investment Management Offshore, Inc. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Bahamas | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 74,145 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 74,145 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 74,145 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON CO |
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Page 7 of 10 – SEC Filing
1 | NAME OF REPORTING PERSONS David Nierenberg | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (See Instructions) AF | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States of America | ||
NUMBER OF SHARES BENEFICIALLY | 7 | SOLE VOTING POWER 0 | |
OWNED BY EACH REPORTING | 8 | SHARED VOTING POWER 1,487,830 | |
PERSON WITH | 9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 1,487,830 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,487,830 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.0% | ||
14 | TYPE OF REPORTING PERSON IN |
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Page 8 of 10 – SEC Filing
Fund | Transaction Date | Shares Bought | Price | |
D3 Family Fund LP | 12/15/2017 | 100 | 6.40 | |
D3 Family Fund LP | 12/21/2017 | 1,394 | 6.79 | |
D3 Family Bulldog Fund LP | 12/21/2017 | 842 | 6.79 | |
DIII Offshore Fund LP | 12/21/2017 | 134 | 6.79 | |
D3 Family Fund LP | 12/22/2017 | 8,947 | 6.92 | |
D3 Family Bulldog Fund LP | 12/22/2017 | 5,399 | 6.92 | |
DIII Offshore Fund LP | 12/22/2017 | 862 | 6.92 | |
D3 Family Fund LP | 12/26/2017 | 4,000 | 6.98 | |
D3 Family Bulldog Fund LP | 12/26/2017 | 2,414 | 6.98 | |
DIII Offshore Fund LP | 12/26/2017 | 386 | 6.98 | |
D3 Family Fund LP | 12/27/2017 | 2,471 | 7.07 | |
D3 Family Bulldog Fund LP | 12/27/2017 | 1,491 | 7.07 | |
DIII Offshore Fund LP | 12/27/2017 | 238 | 7.07 | |
D3 Family Fund LP | 12/28/2017 | 3,361 | 7.12 | |
D3 Family Bulldog Fund LP | 12/28/2017 | 2,028 | 7.12 | |
DIII Offshore Fund LP | 12/28/2017 | 324 | 7.12 | |
D3 Family Fund LP | 1/2/2018 | 21,041 | 7.06 | |
D3 Family Bulldog Fund LP | 1/2/2018 | 12,698 | 7.06 | |
DIII Offshore Fund LP | 1/2/2018 | 2,028 | 7.06 | |
D3 Family Bulldog Fund LP | 1/3/2018 | 15,321 | 7.01 |
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Page 9 of 10 – SEC Filing
Exhibit 1: | Letter from David Nierenberg and Damon Benedict to the Chairman of the Company, dated January 4, 2018. |
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Page 10 of 10 – SEC Filing
D3 Family Fund, L.P., D3 Family Bulldog Fund, L.P. | |
By: Nierenberg Investment Management Company, Inc. | |
January 4, 2018 | Its: General Partner By: /s/ David Nierenberg David Nierenberg, President |
DIII Offshore Fund, L.P. By: Nierenberg Investment Management Offshore, Inc. | |
January 4, 2018 | Its: General Partner By: /s/ David Nierenberg David Nierenberg, President |
Nierenberg Investment Management Company, Inc. | |
January 4, 2018 | By: /s/ David Nierenberg David Nierenberg, President |
Nierenberg Investment Management Offshore, Inc. | |
January 4, 2018 | By: /s/ David Nierenberg David Nierenberg, President |
January 4, 2018 | /s/ David Nierenberg David Nierenberg |